

Eligible Training Programmes
Interested practitioners may apply for reimbursement of the fees of the eligible courses to be held for the period from 1 October, 2016 to 31 August 2022.
For enrolment, detailed course schedule, course fees, and any other course related questions, please click the relevant hyperlinks or contact the course provider(s) directly.
The relevant programmes are listed below.
Hong Kong Securities and Investment Institute
Programme | Course | |
Asset Management Fundamentals Programme | Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*) (15-hour foundation class) | |
Module 2 - Financial Markets (*) | ||
Module 3a - Regulation of Asset Management (5-hour intensive class) | ||
Module 3b - Regulation of Asset Management (10-hour foundation class) | ||
Module 4 - Asset Management | ||
Back Office Fundamentals for Wealth and Asset Management Programme | Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*) (15-hour foundation class) | |
Module 2 - Financial Markets (*) | ||
Module 3 - Dealing, Clearing and Settlement Practices | ||
Module 4 - Operational requirements under the SFO | ||
Module 5 - Compliance, Risk Management and Controls | ||
Enhanced Competency Framework: Certified Private Wealth Professional (CPWP) Programme: Module 1 – Technical, Industry and Product Knowledge | Topic 1 - Basic Products: Fixed Income Instruments, Equity Securities and Foreign Exchange | |
Topic 2 - Derivatives and Structured Products | ||
Topic 3 - Investment Funds and Alternative Investments | ||
Topic 4 - Portfolio Management: Theories and Practices | ||
Topic 5 - Lending and Leverage | ||
Topic 6 - Wealth Planning | ||
Topic 7 - Behavioural Finance | ||
Topic 8 - Customer Relationship Management | ||
Topic 9 - Overview of Private Wealth Management Industry | ||
Topic 10 - Overview of Private Wealth Management Markets: Hong Kong, Mainland China and Asia-Pacific | ||
Duties and Liabilities of Responsible Officers | Duties and Liabilities of Responsible Officers | |
Overview of Legal and Regulatory Framework for Securities & Futures Industry | Overview of Legal and Regulatory Framework for Securities and Futures Industry | |
防洗錢、最新監管要求及行為規範 | 防洗錢、最新監管要求及行為規範 | |
The Hedge Fund Masterclass | The Hedge Fund Masterclass | |
Advanced Level Seminars |
Virtual Banking Landscape and Recent Developments | |
Essentials of Virtual Asset Compliance | ||
ESG Digitalisation - What’s a Good Way to Structurally Manage ESG Data | ||
Essentials for Transitioning to a Net-Zero Portfolio | ||
Strategic Outlook of China’s Asset Management Market | ||
Practical Sharing on Climate Risk Management | ||
Conduct Risk Framework and Sound Risk Culture for Fund Management | ||
Private Debt as a New Investment Class | ||
The Intricacies of Serving Family Offices | ||
Latest Enforcement Cases Relating to Suitability Requirement | ||
Virtual Assets 360: What Asset Managers, Brokers, and Traders Need to Know to Succeed in Virtual Assets | ||
ESG and Climate Finance with Update from COP26 | ||
Reframing the Future of Asset Management Industry | ||
Fostering Hong Kong’s Development as an Asset Management Hub | ||
The Essentials of Running a Family Office | ||
The SFC’s Regulatory Approach to Virtual Assets | ||
Navigating Climate Risk for Asset Managers | ||
Regulation of Funds Investing in Virtual Assets | ||
Digital Assets for Portfolio Management | ||
強積金中介人操守及強積金制度發展 | ||
Proposed Climate-related Risks Requirements for Fund Managers | ||
AML/CFT in the Cayman Islands Regime | ||
Fulfilling Suitability Obligations | ||
Portfolio Management: How Roboadvisors apply Modern Portfolio theory |
* common courses of both programmes
Enquiry: (852) 3120 6100 OR education@hksi.org
The Hong Kong Institute of Bankers
Programme |
| Course |
Postgraduate Diploma in Credit Management/ Treasury Management/ Operations Management for Certified Banker(#) | 1 | Bank Asset and Liability Management |
2 | Treasury Markets and Operations | |
3 | Banking Law and Practice | |
4 | Operational Risk Management | |
Enhanced Competency Framework (ECF) on Retail Wealth Management | 1 | Regulatory Environment for Banking and Financial Planning (RWM) |
2 | Investment Planning (RWM) | |
3 | Essentials of Banking (RWM) | |
4 | Insurance and Retirement Planning (RWM) | |
5 | Investment and Asset Management – | |
6 | Investment and Asset Management – | |
7 | Financial Planning and Wealth Management (RWM) | |
Enhanced Competency Framework Programme | 1 | Advanced Certificate for ECF on Anti-Money Laundering and Counter-Financing of Terrorism |
Enhanced Competency Framework: Certified Private Wealth Professional (CPWP) Programme: Module 2 – Ethics and Compliance | 1 | Regulatory Regime in Hong Kong and Requirement on Sale of Investment Products |
2 | Relevant Laws and Regulations relating to Client Engagement and Relationship Building | |
3 | Ethics and Practical Application of Legal and Regulatory Requirements for Private Banking | |
4 | Risk Management, Risk Governance and Risk Culture of Private Wealth Management Institutions |
# “Certified Banker” is revamped from"AHKIB" with effective from 1 January 2017.
Enquiry: (852) 2153 7865 OR programme@hkib.org
AIIFL/HKU, CLLC and PWMA
Programme | Modules | |
Certificate in Compliance & Risk Management for Private Wealth Management Professionals (2019) | 1 | Financial Laws and Regulations for Private Banking and Wealth Management |
2 | Risk Management for Private Banking and Wealth Management | |
3 | Risks and Legal and Regulatory Requirements for Private Bankers and Wealth Management Relationship Managers | |
4 | Securities Law Compliance for Senior Management | |
5 | Conduct and Ethics for Private Bankers and Wealth Management Relationship Managers | |
6 | Essentials for Private Banking and Wealth Management Compliance Managers |
Enquiry: Ms Flora Leung at (852) 3917 2941 or fkleung@hku.hk
HKU School of Professional and Continuing Education
Programme | Modules |
Certificate for Module (Enhanced Competency Framework on Anti-Money Laundering and Counter-Financing of Terrorism Professional Level)* | - |
Executive Certificate in Family Office Management and Wealth Inheritance | - |
Executive Certificate in Applied Financial Risk Management | - |
Executive Certificate in FinTech | - |
Executive Certificate in RegTech | - |
Executive Certificate in Fund Administration and Regulatory Compliance | - |
*Effective from July 2018 Intake
Enquiry: stella.chung@hkuspace.hku.hk
Hong Kong Trustees' Association and Hong Kong Securities and Investment Institute
Programme | Modules |
Trust Training Certificate (TTC) | Unit 1 - Introduction to Trusts |
Unit 2 - Types of Trusts and When Appropriate | |
Unit 3 - Administration and Management of Trusts | |
Unit 4 - Other Estate Planning Vehicles | |
Unit 5 - Trusts compared with Other Estate Planning Vehicles | |
Unit 6 - Trusts and Compliance | |
Unit 7 - Trusts Jurisdiction Comparison | |
Unit 8 - Other Trust Vehicles in Details | |
Unit 9 - The Contents of Trusts and Drafting | |
Unit 10 - Testamentary Issues & Avoiding Testamentary Disputes | |
Unit 11 - International Tax - Part 1 | |
Unit 13 - Family Office | |
Unit 14 - Foundations Law – Part 1 | |
Unit 17 - Trusts and Issues for PRC Nationals | |
Unit 18 - Trusts for Security Arrangements, Commercial and Employee Benefit Needs | |
Unit 19 - Collective Investment Schemes – Part 1 Private Arrangements | |
Unit 20 - Collective Investment Schemes – Part 2 Public Offering Arrangements | |
Unit 21 - Hong Kong Mandatory Retirement Schemes Trusts - MPF | |
Unit 22 - Hong Kong Private Retirement Schemes Trusts – ORSO |
Enquiry: info@hksi.org or 3120 6100
The Institute of Financial Planners of Hong Kong
Programme | Modules |
Qualified Retirement Adviser (QRA) Education Program | Ordinary Track - Topics 1 to 7 |
Exemption Track - Topics 4 to 7 |
Enquiry: qra@ifphk.org or 2982 7888
HKPC Academy
Programme | Modules |
Certificate in Innovative Family Office Management and Wealth Inheritance | - |
Enquiry: Ms Jennifer Ng at (852) 2788 5768 or jenniferng@hkpc.org
Hong Kong Quality Assurance Agency and Hong Kong Securities and Investment Institute
Programme | Modules |
Green Finance for Wealth and Asset Management (WAM) Professionals | - |
Enquiry: info@hksi.org or 3120 6100